PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 19th, 2024 • Cyclacel Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 26th, 2024 • Helius Medical Technologies, Inc. • Electromedical & electrotherapeutic apparatus • New York
This letter (the “Agreement”) constitutes the agreement between Craig-Hallum Capital Group LLC (“Craig-Hallum” or the “Placement Agent”) and Helius Medical Technologies, Inc., a Delaware corporation (together with its subsidiaries, the “Company”), that Craig-Hallum shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, for the proposed placement of up to an aggregate of $____ of registered securities of the Company, consisting of up to (i)___________ shares (the “Shares”) of Class A common stock, $0.001 par value per share (the “Common Stock”), and/or (ii) ___________pre-funded Common Stock purchase warrants, each to purchase one share of Common Stock (the “Pre-Funded Warrants,” and the shares issuable upon exercise thereof, the “Pre-Funded Warrant Shares”) at an exercise price of $0.001 per share of Common Stock with each Share and each Pre-Funded Warrant sold together with a Series A Warrant (and defined below) and a Series B Warrant (as d
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • December 21st, 2023 • Moleculin Biotech, Inc. • Pharmaceutical preparations • New York
EXHIBIT 1.1 PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • October 23rd, 2015 • Cel Sci Corp • Biological products, (no disgnostic substances) • New York
INVENTERGY GLOBAL, INC. PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • October 12th, 2016 • Inventergy Global, Inc. • Telephone communications (no radiotelephone) • New York
Inventergy Global, Inc., a Delaware Corporation (the “Company”), proposes, subject to the terms and conditions herein, to issue and sell up to an aggregate of 6,000,000 shares (the “Shares”) of Common Stock of the Company, par value $0.001 per share (the “Common Stock”), warrants to purchase up to an aggregate of 6,000,000 shares of Common Stock (the “Warrants”), and up to an aggregate of 6,000,000 shares of Common Stock issuable from time to time upon exercise of the Warrants (the “Warrant Shares”) to certain investors (each an “Investor” and, collectively, the “Investors”), in an offering under its registration statement on Form S-1 (Registration No. 333-211211). We are offering one Share together with one Warrant (the Shares and the Warrants, together, the “Securities”) with each whole Warrant exercisable for one Warrant Share. The Securities are more fully described in the Prospectus (as defined below). The Company desires to engage Chardan Capital Markets, LLC (“Chardan”) in conne
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 9th, 2024 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This letter (this “Agreement”) constitutes the agreement between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agent (the “Placement Agent”) (the “Services”), for the Company, on a reasonable “best efforts” basis, in connection with the proposed offer and placement (the “Offering”) by the Company of its Securities (as defined Section 3 of this Agreement). The Company expressly acknowledges and agrees that Dawson’s obligations hereunder are on a reasonable “best efforts” basis only and that the execution of this Agreement does not constitute a commitment by Dawson to purchase the Securities and does not ensure the successful placement of the Securities or any portion thereof or the success of Dawson placing the Securities.
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 21st, 2024 • China Natural Resources Inc • Gold and silver ores • New York
This letter (this “Agreement”) constitutes the agreement between China Natural Resources, Inc. (NASDAQ: CHNR) (the “Company”) and FT Global Capital, Inc. (“FT Global” or the “Placement Agent”) pursuant to which FT Global shall serve as the placement agent for the Company, on a reasonable “best efforts” basis, in connection with the proposed offer and sale (the “Offering”) by the Company of its Securities (as defined Section 3 of this Agreement) (the “Services”). The Company expressly acknowledges and agrees that FT Global’s obligations hereunder are on a reasonable “best efforts” basis only and that the execution of this Agreement does not constitute a commitment by FT Global to purchase the Securities and does not ensure the successful placement of the Securities or any portion thereof or the success of FT Global with respect to securing any other financing on behalf of the Company.
METRO CITY BANKPlacement Agency Agreement • May 23rd, 2022 • New York
Department of the Treasury (the "Selling Shareholder") each confirms its agreement (this "Agreement") with Sandler O'Neill & Partners, L.P. ("Sandler O'Neill") and Stifel, Nicolaus & Company, Incorporated ("Stifel," and collectively with Sandler O'Neill, the "Placement Agents") with respect to the direct sale by the Selling Shareholder to one or more Winning Bidders (as defined in Section 2(a) hereof) and the placement, as agent of the Selling Shareholder, by the Placement Agents of 7,700 shares of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series A, par value $1.00 per share, and 385 of shares of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series B, par value $1.00 per share, of the Company (together, the "Securities").
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 26th, 2024 • FibroBiologics, Inc. • Pharmaceutical preparations • New York
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 25th, 2024 • Inhibikase Therapeutics, Inc. • Biological products, (no disgnostic substances) • New York
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 7th, 2023 • WeTrade Group Inc. • Services-computer processing & data preparation • New York
CERTAIN PERSONALLY IDENTIFIABLE INFORMATION HAS BEEN OMITTED FROM THIS EXHIBIT PURSUANT TO ITEM 601(A)(6) OF REGULATION S-K. [***] INDICATES THAT INFORMATION HAS BEEN REDACTED. PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • March 4th, 2024 • Biovie Inc. • Pharmaceutical preparations • New York
Introductory. This Placement Agency Agreement the (“Agreement”) sets forth the terms upon which ThinkEquity LLC (“ThinkEquity” or the “Placement Agent”) shall be engaged by BioVie Inc., a Nevada corporation (the “Company”), to act as the exclusive Placement Agent in connection with the offering (hereinafter referred to as the “Offering”) of up to 21,000,000 shares (the “Shares”) of the Company’s class A common stock, $0.0001 par value per share (the “Common Stock”), and/or pre-funded common stock purchase warrants to purchase one share of Common Stock (the “Pre-Funded Warrants”), together with common stock purchase warrants to purchase up to 10,500,000 shares of Common Stock (the “Warrants,” the shares of Common Stock underlying the Pre-Funded Warrants and Warrants, the “Warrant Shares”, and the Shares, the Pre-Funded Warrants, Warrants and the Warrant Shares, the “Securities”) directly to various investors (each, an “Investor” and, collectively, the “Investors”). The purchase price to
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • March 11th, 2019 • Altimmune, Inc. • Pharmaceutical preparations • New York
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • March 26th, 2024 • GD Culture Group LTD • Wholesale-metals & minerals (no petroleum) • New York
This letter (the “Agreement”) constitutes the agreement by and between Univest Securities, LLC (“Univest” or the “Placement Agent”) and GD Culture Group Limited, a Nevada corporation (the “Company”), pursuant to which the Placement Agent shall serve as the placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placements (the “Placements”) of up to an aggregate of approximately $926,957 of Securities (defined below) via a registered direct offering of shares of common stock, par value $0.0001 (“Common Stock”), of the Company (the “Offered Shares” or the “Securities”) . The terms of the Placements and the Securities shall be mutually agreed upon by the Company and the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein shall be deemed to mean that the Placement Agent would have the power or authority to bind the Company or any Purchaser or an obligation for the Company to issue any Securities or complete
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • May 17th, 2024 • Wisa Technologies, Inc. • Semiconductors & related devices • New York
This letter agreement (the “Agreement”) constitutes the agreement between Maxim Group LLC (“Maxim” or the “Placement Agent”) and WiSA Technologies, Inc., a Delaware corporation (together with its subsidiaries, the “Company”), that Maxim shall serve as the exclusive placement agent for the Company, on a “reasonable best efforts” basis, for the proposed placement to certain purchasers (the “Purchasers”) of up to an aggregate of 675,000 units (each a “Unit” and collectively, the “Units”), with each Unit consisting of (A) one share (each a “Share” and collectively, the “Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), and (B) one common stock purchase warrant (the “Warrant”) to purchase one share of Common Stock (the “Warrant Shares”) at the combined purchase price of $3.61 per Unit. The Units and the securities included therein (i.e., the Shares, the Warrants and the Warrant Shares) are referred to herein as the “Securities.” The documents executed
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • July 29th, 2019 • Staffing 360 Solutions, Inc. • Services-help supply services • New York
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • August 8th, 2014 • Enumeral Biomedical Holdings, Inc. • Services-computer programming, data processing, etc. • New York
This Placement Agency Agreement (“Agreement”) sets forth the terms upon which Katalyst Securities LLC., a registered broker-dealer and member of the Financial Industry Regulatory Authority (“FINRA”) (hereinafter referred to as the “Placement Agent” or “Katalyst”), shall be engaged by Enumeral Biomedical Holdings, Inc., a publicly traded corporation duly organized under the laws of the State of Delaware hereinafter referred to as the “Company” or “ENUM”), to act as a non-exclusive placement agent (“Placement Agent”) in connection with the private placement (hereinafter referred to as the “Offering”) of units (the “Units”) of securities of the Company, as more fully described below. The initial closing of the Offering will be conditioned upon the receipt and acceptance of subscriptions for the Minimum Amount (as defined below) and the consummation of a reverse triangular merger (the “Merger”) between a subsidiary of the Company and Enumeral Biomedical Corp., a Delaware corporation (“Enum
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • August 14th, 2014 • DanDrit Biotech USA, Inc. • Pharmaceutical preparations • New York
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • June 2nd, 2023 • Super League Gaming, Inc. • Services-amusement & recreation services • New York
This Placement Agency Agreement (“Agreement”) sets forth the terms upon which Aegis Capital Corp., a New York corporation (“Aegis” or “Placement Agent”), a registered broker-dealer and member of the Financial Industry Regulatory Authority (“FINRA”), shall be engaged by Super League Gaming, Inc., a Delaware corporation (the “Company”) to act as exclusive Placement Agent in connection with the private placement (the “Offering”) of shares (the “Shares”) of Series AA Convertible Preferred Stock, par value $0.001 per share (including all subseries of such stock, the “Series AA Preferred Stock”). The Offering will consist of a minimum of 3,500 Shares ($3,500,000) (“Minimum Offering Amount”) and up to a maximum of 20,000 Shares ($20,000,000) (“Maximum Offering Amount”) which shall be offered on a “reasonable efforts, all or none” basis as to the Minimum Offering Amount and a “reasonable efforts” basis for all amounts in excess of the Minimum Offering Amount. In the event the Offering is overs
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • March 10th, 2016 • Avino Silver & Gold Mines LTD • Metal mining • Florida
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • December 22nd, 2016 • Us Energy Corp • Crude petroleum & natural gas • New York
Exhibit 10.2 PLACEMENT AGENCY AGREEMENT This Placement Agency Agreement (this "Agreement") is made and entered into as of September 15, 2006 (the "Effective Date"), by and between One IP Voice, Inc., a Delaware corporation (the "Company"), and...Placement Agency Agreement • November 20th, 2006 • One Ip Voice, Inc. • Telephone communications (no radiotelephone) • Texas
SANUWAVE HEALTH, INC. PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 3rd, 2016 • SANUWAVE Health, Inc. • Surgical & medical instruments & apparatus • New York
Exhibit e PLACEMENT AGENCY AGREEMENT September 13, 1993 The Landmark Funds Broker-Dealer Services, Inc. c/o Signature Financial Group (Cayman), Ltd. Elizabethan Square, 2nd Floor George Town, Grand Cayman, BWI Gentlemen: This is to confirm that, in...Placement Agency Agreement • April 29th, 1999 • TPP Balanced Portfolio
PLACEMENT AGENCY AGREEMENT July 18, 2023Placement Agency Agreement • August 2nd, 2023 • KWESST Micro Systems Inc. • Services-prepackaged software • New York
EXHIBIT 1.1 Placement Agency Agreement Dated as of June 1, 2001 Petkevich & Partners, LLC 501 2nd Street, Suite 710 San Francisco, CA 94107-4134 Attention: J. Misha Petkevich Ladies and Gentlemen: Introductory. Incara Pharmaceuticals Corporation, a...Placement Agency Agreement • July 10th, 2001 • Incara Pharmaceuticals Corp • Pharmaceutical preparations • California
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • September 4th, 2024 • Airship AI Holdings, Inc. • Services-prepackaged software • New York
GP NURMENKARI INC. NORWALK, CT 06854 TEL: 212-447-5550 Member: FINRA & SIPC PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • December 17th, 2018 • Neurotrope, Inc. • Pharmaceutical preparations • New York
This Placement Agency Agreement (“Agreement”) sets forth the terms upon which GP Nurmenkari Inc., a registered broker-dealer and member of the Financial Industry Regulatory Authority (“FINRA”) (hereinafter referred to as the “Placement Agent”), shall be engaged by Neurotrope Inc., a publicly traded Nevada corporation (hereinafter referred to as the “Company”), to act as Placement Agent in connection with the registered direct offering (the “Offering”) of the securities of the Company referred to below (the “Securities”) directly to various investors (each, an “Investor” and, collectively, the “Investors”). The Closing (as defined below) of the Offering will be conditioned upon certain conditions described herein.
Placement Agency AgreementPlacement Agency Agreement • November 29th, 2011 • Endowment Institutional TEI Fund, L.P. • Delaware
This Placement Agency Agreement (the “Agreement”), dated as of October 18, 2011, is by and between The Endowment Institutional TEI Fund, L.P., a Delaware limited partnership, (the “Fund”), on the one hand, and Salient Capital, L.P., a Texas limited partnership (the “Agent”), on the other hand.
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • March 22nd, 2024 • Beyond Air, Inc. • Surgical & medical instruments & apparatus • New York
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • April 30th, 2021 • Jaguar Health, Inc. • Pharmaceutical preparations • New York
FORM OF PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • February 7th, 2024 • Biolase, Inc • Dental equipment & supplies • New York
This letter agreement (the “Agreement”) constitutes the agreement between Lake Street Capital Markets, LLC (“Lake Street”) and Maxim Group LLC (“Maxim”), as placement agents (each a “Placement Agent” and, collectively, the “Placement Agents”) and BIOLASE, Inc., a Delaware corporation (together with its subsidiaries, the “Company”), that Placement Agents shall serve as exclusive placement agents for the Company, on a “reasonable best efforts” basis, for the proposed placement to certain purchasers (the “Purchasers”) of up to an aggregate of (i) [ ] common units (each a “Common Unit” and collectively, the “Common Units”), with each Common Unit consisting of (A) one share (each a “Share” and collectively, the “Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”), (B) one Class A warrant to purchase common stock (each a “Class A Warrant” and collectively, the “Class A Warrants”) to purchase one share of Common Stock (the “Class A Warrant Shares”) exercisa
3,481,997 Shares MARATHON PATENT GROUP, INC. Common Stock, par value $0.0001 per share PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • December 12th, 2016 • Marathon Patent Group, Inc. • Patent owners & lessors • New York
Marathon Patent Group, Inc., a Nevada corporation (the “Company”), proposes, subject to the terms and conditions stated in this Placement Agency Agreement (this “Agreement”) and the Securities Purchase Agreement in a form mutually agreed upon by the Company and the Placement Agent (the “Purchase Agreement”) entered into with the investors identified therein (each, an “Investor” and collectively, the “Investors”), to issue and sell up to an aggregate of 3,481,997 shares (the “Shares”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”). The Company hereby confirms its agreement with Northland Securities, Inc. (“Northland” or the “Placement Agent”) as set forth below. Northland Capital Markets is the trade name for certain capital markets and investment banking activities of Northland Securities, Inc., member FINRA/SIPC. The Shares are more fully described in the Prospectus (as defined below).
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • July 3rd, 2013 • Excelsior Private Markets Fund III (TE), LLC • New York
Subject to the terms and conditions of this Agreement (in particular, Section 4 hereof) and the Selling Agent's good faith judgment of prevailing market conditions and the current marketability of the Fund, the Selling Agent hereby agrees to use reasonable efforts to solicit, on behalf of and as agent for the Fund, investments in the limited liability company interests (the "Interests") of the Fund, a limited liability company registered under the Investment Company Act of 1940, as amended (the "1940 Act"). Each of the managers or investment advisers, as applicable, listed in Appendix A, as may be amended from time to time (the "Manager"3), serves as the manager or investment adviser to the applicable Fund listed on the Appendix A and provides management or investment advisory services, as applicable, to such Fund. This Agreement is made separately among: (i) each Fund listed in Appendix A; (ii) the applicable Fund's respective Manager listed in Appendix A (with respect to Sections 2,
EXHIBIT 10.11 PLACEMENT AGENCY AGREEMENT May 26, 2006 Ambient Corporation 79 Chapel Street Newton, Massachusetts 02458 Ladies and Gentlemen: This Placement Agency Agreement (the "AGREEMENT") confirms the retention by Ambient Corporation, a Delaware...Placement Agency Agreement • June 8th, 2006 • Ambient Corp /Ny • Telephone communications (no radiotelephone) • New York
